DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P••••• R•••• C••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 139380SEC 801-66186IAPD
Latest filing Nov 30, 2015
First filing on the tape Feb 24, 2012 · 15 filings
RAUM
$89.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$372M as of Mar 13, 2015
Feb 24, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 13, 2015
Feb 24, 20120 then
Employees (5.A)5 as of Mar 13, 2015
Mar 8, 201310 then
Private funds1 as of Mar 13, 2015
Feb 24, 20121 then
RAUM -91% over the last fiscal year-59% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 30, 2015; every figure names its basis
RAUM per advisor
$44.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$12.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••• R•••• F••• L•Other Private Fund$40.5M20Feb 24, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• S••••••• H••••• · Chief Financial Officercontrol
      since 04/2006 · owns less than 5%
    • U••••• R•••••• A••••• · Ceo, Chief Compliance Officer, Membercontrol
      since 01/2006 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Bend, OR
    What changed
    consecutive filings, newest first
    • Accounts · 33 to 7
      Apr 27, 2015 to Nov 30, 2015
    • Advisory employees · 6 to 3
      Apr 27, 2015 to Nov 30, 2015
    • Employees · 6 to 3
      Apr 27, 2015 to Nov 30, 2015
    • Discretionary RAUM · $335M to $89.0M
      Apr 27, 2015 to Nov 30, 2015
    • RAUM · $335M to $89.0M
      Apr 27, 2015 to Nov 30, 2015
    • Related adviser · true to false
      Apr 27, 2015 to Nov 30, 2015
    • Accounts · 34 to 33
      Mar 13, 2015 to Apr 27, 2015
    • Advisory employees · 5 to 6
      Mar 13, 2015 to Apr 27, 2015
    • Advisory activities · 3 to 2
      Mar 13, 2015 to Apr 27, 2015
    • Assets in custody · 40518240.0 to unset
      Mar 13, 2015 to Apr 27, 2015
    • Employees · 5 to 6
      Mar 13, 2015 to Apr 27, 2015
    • Private funds · 1 to unset
      Mar 13, 2015 to Apr 27, 2015
    • Discretionary RAUM · $372M to $335M
      Mar 13, 2015 to Apr 27, 2015
    • RAUM · $372M to $335M
      Mar 13, 2015 to Apr 27, 2015
    • Accounts · 33 to 34
      Jan 27, 2015 to Mar 13, 2015
    • Assets in custody · $38.2M to $40.5M
      Jan 27, 2015 to Mar 13, 2015
    • Discretionary RAUM · $369M to $372M
      Jan 27, 2015 to Mar 13, 2015
    • RAUM · $369M to $372M
      Jan 27, 2015 to Mar 13, 2015
    • Accounts · 44 to 33
      Sep 10, 2014 to Jan 27, 2015
    • Advisory employees · 7 to 5
      Sep 10, 2014 to Jan 27, 2015
    • Assets in custody · $56.3M to $38.2M
      Sep 10, 2014 to Jan 27, 2015
    • Employees · 9 to 5
      Sep 10, 2014 to Jan 27, 2015
    • Discretionary RAUM · $686M to $369M
      Sep 10, 2014 to Jan 27, 2015
    • RAUM · $686M to $369M
      Sep 10, 2014 to Jan 27, 2015
    • Accounts · 48 to 44
      Jul 17, 2014 to Sep 10, 2014
    • Assets in custody · $72.2M to $56.3M
      Jul 17, 2014 to Sep 10, 2014
    • Discretionary RAUM · $812M to $686M
      Jul 17, 2014 to Sep 10, 2014
    • RAUM · $812M to $686M
      Jul 17, 2014 to Sep 10, 2014
    • Accounts · 52 to 48
      Feb 28, 2014 to Jul 17, 2014
    • Advisory employees · 9 to 7
      Feb 28, 2014 to Jul 17, 2014
    • Assets in custody · $139M to $72.2M
      Feb 28, 2014 to Jul 17, 2014
    • Discretionary RAUM · $1.0B to $812M
      Feb 28, 2014 to Jul 17, 2014
    • RAUM · $1.0B to $812M
      Feb 28, 2014 to Jul 17, 2014
    • Related adviser · false to true
      Feb 28, 2014 to Jul 17, 2014
    • Accounts · 62 to 52
      Dec 13, 2013 to Feb 28, 2014
    • Assets in custody · $201M to $139M
      Dec 13, 2013 to Feb 28, 2014
    • Employees · 10 to 9
      Dec 13, 2013 to Feb 28, 2014
    • Discretionary RAUM · $1.3B to $1.0B
      Dec 13, 2013 to Feb 28, 2014
    • RAUM · $1.3B to $1.0B
      Dec 13, 2013 to Feb 28, 2014
    • Advisory employees · unset to 9.0
      Oct 4, 2012 to Mar 8, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026